Speaking Engagement

Japan Compliance Investigations : case studies from financial services and other industries

23 Feb 2017

BNP Paribas
Gran Tokyo North Tower
1-9-1 Marunouchi
Tokyo, Japan

Businesses are facing increased scrutiny of their business practices from regulators and other authorities. This often results in a need to put in place a system to conduct internal investigations.

Investigations can vary in their structure, from simple fact finding to more overarching and complex risk assessments. To facilitate these processes, external firms are often brought in to  provide support.

In this seminar, Morrison & Foerster partner James Hough set out compliance-related lessons learned from conducting internal investigations in Japan over the past 4 years including for financial services firms. The presentation covered:

  • Corruption/Fraud Risks
  • Books and Records/Internal Control Risks
  • Antitrust Compliance
  • Data Protection
  • Privilege Issues
  • Best practices for internal investigations



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